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The leading knowledge platform for the financial technology industry

A-Team Insight Blogs

Best Practice Approaches to Identifying and Managing Securities Related to Sanctioned Entities

Managing data to comply with ever-changing economic sanctions is often a problem, but the problem becomes more complex for financial institutions that must monitor and manage not only country, company and individual sanctions, but also securities related to these entities. Addressing the problem, A-Team Group is planning a webinar that will consider best practice approaches to building and managing lists of sanctioned securities, how to ensure your ‘do not trade’ list is accurate and up to date, and how to avoid the penalties and reputational damage of sanctions violations.

The webinar, Meeting the High Stakes Challenge of Effective Sanctions Data Monitoring, will be hosted by A-Team on Tuesday November 15th and will include expert commentary and advice from Jurg Stalder, senior product manager for reference data at SIX Financial Information, and practitioners David Savage, senior associate in the fraud and investigations group at Eversheds LLP, and Sean Friedly, senior manager and head of financial crimes management governance at Raymond James Financial.

Beyond responding effectively to top line sanctions, financial institutions must confront challenges around identifying and managing securities related to sanctioned entities, including securities issued by subsidiaries of sanctioned companies and those subject to beneficial ownership by sanctioned individuals.

If you are a data management practitioner or compliance officer working on sanctions compliance within a financial institution, join the webinar to find out more about:

  • Challenges of managing sanctioned securities
  • Approaches to successful sanctions compliance
  • How to reduce data errors related to securities sanctions
  • Technology solutions to support sanctions compliance
  • Beneficial outcomes of getting securities sanctions right

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